UNCLASSIFIED (U)

2 FAM 060

INTERNATIONAL DISASTER AND HUMANITARIAN ASSISTANCE

(CT:GEN-584;   10-31-2022)
(Office of Origin:  F)

2 FAM 061  GENERAL POLICY

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

In the event of foreign disaster, the United States may provide humanitarian assistance to affected populations.  Assistance shall, to the greatest extent possible, be provided on the basis of assessed needs and grounded in humanitarian principles.  U.S. Government humanitarian assistance supports and encourages host country engagement and active participation in humanitarian response, and supplements rather than replaces host country humanitarian response resources.  U.S. humanitarian assistance also supports and encourages broader international cooperation in humanitarian response and assistance.

2 FAM 061.1  International Humanitarian Crises

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. USAID’s Bureau for Humanitarian Assistance (USAID/BHA) has the lead responsibility for providing U.S. humanitarian assistance in response to natural and human-induced disasters for internally displaced persons, as well as providing emergency food assistance to refugees and displaced populations, and assistance to predict, prepare for, and reduce the impact of natural and human-induced disasters.  A foreign disaster is an act of nature (such as a flood, drought, tsunami, hurricane, earthquake, volcanic eruption, or epidemic) or an intentional or unintentional human action (such as violence, conflict, civil strife, or explosion), which is, or threatens to be, of sufficient severity and magnitude to overwhelm the ability of the host nation to respond.  The severity and magnitude of a disaster is determined by taking into account the extent of damage compared to local resources available for alleviating the suffering caused, and the extent of social or economic disruption.  USAID/BHA’s humanitarian assistance includes two broad categories, which may frequently be interlinked: humanitarian response, and longer-term efforts aimed at mitigating chronic vulnerability.

b. Assistance managed by USAID/BHA may be provided only following a formal “Declaration of Humanitarian Need”, provided the criteria to make such a declaration (see 2 FAM 062) have been met.

c.  The Department of State's Bureau of Population, Refugees and Migration (State/PRM) has the lead responsibility for seeing that populations of concern - refugees, asylum seekers, migrants in situations of vulnerability, and stateless persons – are provided with protection, humanitarian assistance and, where political circumstances make it possible, durable solutions (voluntary repatriation in safety and dignity, local integration, or third country resettlement.)  Assistance managed by State/PRM does not require a Declaration of Humanitarian Need. 

d. Coordination between USAID/BHA and State/PRM is essential to an effective and efficient U.S. humanitarian response.  Consistent with a USAID/BHA-State/PRM Memorandum of Understanding, in specific circumstances, USAID/BHA may provide non-food humanitarian assistance to populations that have crossed international boundaries and State/PRM may provide food assistance to refugees, and other assistance to internally displaced persons.

e. USAID/BHA and State/PRM can also provide technical specialists to support interested governments faced with emergency situations that do not warrant a formal Declaration of Humanitarian Need.

2 FAM 061.2  Humanitarian Assistance

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. The goal of humanitarian assistance is to save lives, alleviate human suffering, provide protection, and reduce the physical, social, and economic impact of rapid and slow-onset humanitarian emergencies.  U.S. humanitarian assistance is provided on the basis of need and grounded in principles of humanity, neutrality, impartiality, and independence.

b. Humanitarian response is characterized by urgent action, including deployment of teams of experts, when possible, quick assessment of needs according to technical standards, support to local and national actors, and rapid provision of assistance to partners to meet critical needs of people affected by crises.

c.  Assistance provided may include: protection of affected populations, services and commodities; assistance to refugees, internally displaced persons, and other persons of concern; provision and transportation of food, emergency relief items (e.g., hygiene kits and blankets), medical supplies, temporary shelter, water and sanitation; and emergency repairs to essential services, and, when appropriate, State/PRM may provide assistance for voluntary repatriation or refugee resettlement.

d. A Declaration of Humanitarian Need is required for all USAID/BHA humanitarian response programming, including food and non-food emergency assistance, as well as food assistance for refugees. State/PRM does not require a Declaration of Humanitarian Need to respond (see 2 FAM 066).

e. Once a Declaration of Humanitarian Need is made, USAID/BHA may make available up to $100,000 in assistance to meet the identified humanitarian need. Following written confirmation that USAID/BHA intends to do so, the Chief of Mission (or, for countries without an official U.S. diplomatic presence, the cognizant Assistant Secretary of State) may advise the foreign government.  The initial $100,000 and funding in excess of an initial $100,000 requires prior approval of USAID/BHA.  A new Declaration of Humanitarian Need is required for response assistance beyond the fiscal year in which the original Declaration of Humanitarian Need was made and must be approved in advance by USAID/BHA.

f.  USAID/BHA early recovery, risk reduction, and resilience efforts (ER4) activities, utilized to prepare for, mitigate, or recover from a crisis, do not require a Declaration of Humanitarian Need.  ER4 activities may stand alone, provided they do not address immediate humanitarian needs.  However, ER4 activities intended to meet immediate humanitarian needs or directly integrated with BHA-funded humanitarian response activities must take place under a Declaration of Humanitarian Need. Implementation of ER4 programs may begin while efforts to address acute humanitarian needs are ongoing (See USAID’s ADS 251). 

2 FAM 061.3  Preparedness, Resources, and Engagement

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. USAID/BHA maintains inventories of commonly required food and non-food humanitarian relief commodities in regional stockpiles around the world from which they may be deployed rapidly to the scene of a crisis upon instruction from USAID/BHA.  Currently, commodities are located in the following places, although locations may change:

(1)  Miami, Florida;

(2)  Houston, Texas;

(3)  Dubai, UAE;    

(4)  Durban, South Africa;

(5)  Djibouti, Djibouti

b. Disaster preparedness includes:

(1)  Seminars and training for foreign disaster officials in disaster management;

(2)  Direct technical assistance in national disaster planning for disaster-prone countries;

(3)  Training and support to post-appointed Mission Disaster Relief Officers (designation of an MDRO is a State Department requirement per 12 FAH-1) at U.S. missions in the development of Annex J of the Post Emergency Action Plan; and

(4)  Disaster-related technical assistance and technology transfer.    

2 FAM 061.4  Authorities

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. Foreign Assistance Act of 1961 (FAA) Sections 491-493:  Section 491 of the FAA authorizes the President to provide assistance for disaster relief and rehabilitation assistance, including assistance for disaster preparedness and contingency planning and emergency food assistance.  Section 493 authorizes the President to appoint a Special Coordinator for International Disaster Assistance. The USAID Administrator has been appointed to serve in this capacity.      

b. FAA Section 106:  This section authorizes the President to furnish assistance to programs of reconstruction following natural and human-induced disasters and programs of disaster preparedness, including the prediction of and contingency planning for natural disasters abroad.

c. Food for Peace Act: Title II of the Food for Peace Act authorizes the USAID Administrator to provide emergency and non-emergency food assistance overseas.  The USAID Administrator has delegated to the Assistant to the Administrator for USAID/BHA authority for the administration, approval, and implementation of programs under Title II of the Food for Peace Act. (See USAID’s ADS 103.                        

d. Migration and Refugee Assistance Act of 1962 (MRAA) provides the basic authority for U.S. international assistance to refugees, migrants, and certain other persons of concern.  The MRAA directs support to international organizations by specifying that appropriations are authorized: for contributions to the activities of the United Nations High Commissioner for Refugees the International Organization for Migration, the International Committee of the Red Cross, and to other relevant international organizations, a function that State/PRM assumed when the bureau came into existence in 1980.  The MRAA also provides authority to fund bilateral assistance or grants to non-governmental organizations (NGOs) when determined that such assistance is in the foreign policy interests of the United States.  The MRAA also establishes a U.S. Emergency Refugee and Migration Assistance Fund (“ERMA”) to meet unexpected urgent refugee and migration needs.  State/PRM manages this contingency account on behalf of the President.

e. Department of State Delegation of Authority No. 293-2 of October 23, 2011, delegated to the Administrator, U.S. Agency for International Development, authority for funding and operational coordination of emergency disaster operations and disaster preparedness pursuant to the FAA.

2 FAM 062  CHIEF OF MISSION RESPONSIBILITIES

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. Consistent with Section 207 of the Foreign Service Act of 1980 and the President's Letter of Instruction, the COM has full responsibility for the direction, coordination, and supervision of all Executive Branch activities, operations, and employees in their area of responsibility, with the exception of employees under the command of a Geographic Combatant Commander, Voice of America correspondents on official assignment, and those officially on the staff of an international organization and performing the work of that organization.

b. The Chief of Mission (or, for countries without an official U.S. diplomatic presence, the cognizant regional Assistant Secretary of State) may make a Declaration of Humanitarian Need, to facilitate humanitarian assistance managed by USAID/BHA, if they determine that all of the following four criteria have been met:

(1)  There is evidence of significant unmet humanitarian need;

(2)  U.S. Government humanitarian assistance will save lives, reduce human suffering and mitigate the impact of humanitarian emergencies on the most vulnerable;

(3)  The host country requests or will accept international assistance; and

(4)  Responding aligns with U.S. Government interests and humanitarian objectives.

c.  Such a Declaration of Humanitarian Need, however, does not necessarily result in the availability of funding from USAID/BHA.  Instead, USAID/BHA must approve the provision of USAID/BHA funding.  Additionally, the Declaration of Humanitarian Need does not affect funding from other U.S. Government sources, such as State/PRM.

2 FAM 063  OBLIGATION OF FUNDS AND FISCAL REPORTING REQUIREMENTS

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. When making available the $100,000 initial response assistance following a Declaration of Humanitarian Need, USAID/BHA/W will generally make funding available through a fund cite cable to the cognizant USAID mission.  The USAID mission in-country, or regional mission if appropriate, will typically award funds through an assistance award.  In exceptional cases when neither a USAID bilateral nor regional mission exists, or they are unable to award the funds, USAID/Washington will issue the award following standard USAID policies and procedures.

b. Should additional funding be necessary, recommendations should be made through the relevant USAID/BHA regional office and appropriate action will be taken in Washington to establish funding levels.  Typically, any additional funding is programmed by USAID/BHA in Washington.

c.  Chiefs of Missions shall not state the intention of the U.S. Government to provide USAID/BHA response funding until funding levels have been approved by USAID/BHA and missions notified of the financial accounting information.

2 FAM 064  REPORTING

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. Without delaying necessary and authorized emergency action, the COM or their representative must provide an immediate notification of a developing crisis as well as situation reports, follow-through actions, and a full summary report of each humanitarian relief operation to USAID/ BHA and State/PRM.  Additional guidance can be obtained from USAID/BHA and State/PRM (see 2 FAM 065).

b. In crises primarily involving refugees, asylum seekers, migrants in situations of vulnerability, and stateless persons, requests for assistance and reporting must be directed to State/PRM.

c.  Requests for food assistance and food assistance reporting for any humanitarian population must be directed to USAID/BHA.    

2 FAM 065  INTERNATIONAL HUMANITARIAN ASSISTANCE POLICIES

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. For detailed information and guidelines on U.S. Government policies for humanitarian assistance managed by USAID/BHA, see USAID's ADS 251.  Copies of ADS 251 can be found on the USAID website.

b. Guidance on U.S. Government humanitarian assistance in response to crises involving primarily State/PRM populations of concern can be found on the State/PRM website.

2 FAM 066  RESPONSIBILITIES AT WASHINGTON HEADQUARTERS

2 FAM 066.1  General Responsibilities

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. The Department of State provides foreign policy guidance to USAID in carrying out humanitarian response activities.  The Administrator of USAID determines the extent to which USAID funds and resources will be committed under this policy guidance to ensure the U.S. Government response is needs-based and follows humanitarian principles as outlined in the Good Humanitarian Donorship initiative (GHD—the benchmark against which the U.S. Government and other international donors aim to improve the coherence, impact, and accountability of their humanitarian actions). 

b. In the event a crisis involves primarily refugees, State/PRM is responsible for evaluating and funding the U.S. Government response and for coordinating with international organizations and non-governmental organizations responding to refugee crises.  In the event a crisis involves primarily refugees, and requires the provision of food assistance, State/PRM and USAID/BHA are jointly responsible for funding the U.S. Government response and for coordinating with international organizations and non-governmental organizations responding to refugee crises.  In specific circumstances, USAID/BHA may provide non-food humanitarian assistance to populations that have crossed international boundaries and State/PRM may provide food assistance to refugees when populations are small, and assistance to internally displaced persons consistent with the BHA-PRM MOU.

2 FAM 066.2  U.S. Agency for International Development (USAID)

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. The focal point of USAID’s humanitarian response activity in Washington is USAID/BHA.  USAID/BHA staff can be reached 24 hours a day including weekends and holidays through the USAID Command Center.  The Assistant to the Administrator for USAID/BHA supports the USAID Administrator to respond to U.S. mission requests for humanitarian assistance, to organize and coordinate the total U.S. Government disaster response, to procure supplies, services, and transportation, and to engage in disaster preparedness activities.  USAID may request goods and services of other Federal agencies on a reimbursable or non-reimbursable basis.  Non-reimbursable support is only available when the other Federal agency concludes that it has the funding and legal authority to provide the requested support.

b. USAID geographic bureaus work with USAID/BHA in determining the nature and extent of crises to determine suitable plans of action.  When identified needs of affected populations expand beyond the objectives of humanitarian assistance activities, including the four categories of assistance that USAID/BHA generally provides (response, early recovery, risk reduction, and resilience), USAID/BHA works closely with the appropriate USAID geographic bureau to design and/or transition any continuing activities to longer-term USAID reconstruction, development programming, or country-led processes, as appropriate.

c.  USAID/BHA is responsible for all matters relating to in-kind food assistance utilized in humanitarian programming as authorized by the FAA and Food for Peace Act.  (See ADS 251). 

d. USAID/BHA coordinates closely with USAID geographic bureaus, other pillar bureaus, and USAID central offices to facilitate the maintenance of, or expeditious return to, sustainable development in crisis affected or threatened countries.    

e. USAID/BHA has the lead responsibility for providing U.S. humanitarian assistance in response to natural and human-induced disasters, for internally displaced persons, as well as providing emergency food assistance to refugees, and assistance to predict, prepare for, and reduce the impact of natural and human-induced disasters. USAID/BHA holds the U.S. Government's institutional lead agency role with the World Food Program (WFP) and the United Nations Office for the Coordination of Humanitarian Affairs (OCHA). State/PRM and USAID/BHA both provide critical humanitarian funding to the International Organization for Migration (IOM).  A single disaster may involve situations for which both USAID/BHA and State/PRM have responsibilities, and coordination between USAID/BHA and State/PRM is essential to an effective and efficient U.S. effort.

2 FAM 066.3  Department of State

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. The Bureau of Population, Refugees and Migration (PRM) has the lead responsibility within the U.S. Government for working to provide its populations of concern - refugees, asylum seekers, migrants in situations of vulnerability, and stateless persons –with protection, humanitarian assistance and, where political circumstances make it possible, durable solutions (voluntary repatriation in safety and dignity, local integration, or third country resettlement).  State/PRM leads the institutional relationship with the United Nations High Commissioner for Refugees, the United Nations Relief and Works Agency for Palestine Refugees in the Near East, and the International Committee of the Red Cross.  State/PRM manages the U.S. Government’s institutional relationship with the International Organization for Migration (IOM) and has the lead responsibility within the U.S. government for contributions to IOM in support of its humanitarian assistance to refugees, conflict-affected IDPs, and migrants in situations of vulnerability.  State/PRM and USAID/BHA both provide critical humanitarian funding to IOM.  The State/PRM duty officer may be reached 24 hours a day through the Operations Center.  A single disaster may involve situations for which both USAID/BHA and State/PRM have responsibilities; coordination between USAID/BHA and State/PRM is essential to an effective and efficient U.S. effort.

b. The Bureau of Consular Affairs (CA) is concerned with crises in foreign countries as they affect U.S. citizens.  It provides information on the welfare of private U.S citizens residing abroad who are affected by crises to concerned relatives in the United States.  State/CA assists in the transfer of emergency funds to U.S. citizens in crisis-stricken areas and in arranging for medical treatment and/or evacuation.  In the case of death of a U.S. citizen abroad, the Bureau assists the next of kin in arranging for the disposition of the remains and settlement of the estate.

c.  The Bureau of International Organization Affairs (IO) provides political guidance to the Department of State and USAID regional bureaus and to USAID/BHA on the United Nations and its specialized agencies or other international organizations when U.S. Government humanitarian assistance involves these organizations.

d. The Department of State Operations Center (S/ES-O) relays to USAID/BHA and/or State/PRM communications received pertaining to foreign crises and may assist during evening hours and on weekends in the dispatch of immediate communications; and

e. The Bureau of Educational and Cultural Affairs (ECA):

(1)  Coordinates the assessment, protection, and preservation of cultural heritage, including museums, archives, and archaeological resources, in natural or human-induced disaster situations; and

(2)  Coordinates with the relevant U.S. Embassy and geographic bureau, USAID, and the Bureau of Conflict and Stabilization Operations (CSO) to ensure that U.S. Government actions address cultural heritage concerns in disaster and post-disaster situations in a timely fashion to mitigate risk and damage to irreplaceable cultural heritage.

2 FAM 066.4  Department of Defense (DOD)

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. The Department of Defense (DoD) may respond to a Department of State or USAID request for support for humanitarian operations.  DoD Directive 5100.46, of July 6, 2012, authorizes DoD to respond to foreign disasters in support of USAID pursuant to E.O. 12163 and section 491 of the FAA.  DoD support may be provided on a non-reimbursable basis using available Overseas Humanitarian, Disaster, and Civic Aid (OHDACA) funds, Presidential drawdown authority in accordance with section 506 of Public Law 87-195, or other available authorities.  Additionally, DoD may use OHDACA for disaster-related activities following formal USAID/BHA validation of the appropriateness of DoD foreign disaster relief -- typically provided when DoD provides a unique capability that cannot be fulfilled through other USG or commercial means -- via input into the initial request for DoD assistance and tactical level concurrence through the Mission Tasking Matrix (MiTaM) process.  The Department of State provides validation of the foreign policy interests of a military response to a crisis.  In refugee or migration crises, State/PRM provides formal validation and prioritization of requests for DoD support. 

b. DoD components may also provide reimbursable foreign disaster, refugee, and migration relief when requested and funded by other U.S. Government departments and agencies.  Requests for both reimbursable and non-reimbursable DoD support to foreign disaster relief efforts are transmitted via an official request from the appropriate departmental or agency Executive Secretariat to the DoD Executive Secretary.  Reimbursable support must be processed through the execution of interagency reimbursable agreements, which must be in place before DoD provides begins to incur costs or provides such support.  See, e.g., USAID ADS 306.

2 FAM 066.5  Department of Health and Human Services (HHS)

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. USAID/BHA maintains agreements with HHS agencies and programs that USAID can draw upon to support the delivery of humanitarian assistance.  USAID/BHA maintains agreements with the Centers for Disease Control and Prevention, Office of Global Affairs, National Institutes of Health, and Federal Occupational Health Program.  USAID/BHA also maintains an Interagency Agreement with the Emergency Response and Recovery Branch at the CDC’s Center for Global Health. 

b. At USAID's request, CDC may provide medical, epidemiological, and other public health personnel for disaster assessment and response.  Additionally, State/PRM leads Department engagement with CDC on public health measures and policy related to refugees, migration, and refugee resettlement.

2 FAM 066.6  U.S. Department of Agriculture (USDA)

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. USDA plays an important role in the procurement of commodities under Title II of the Food for Peace Act.  USAID/BHA and USDA regularly coordinate on the procurement and delivery of commodities, as well as on other operational, supply chain and logistics issues pertaining to the procurement of Title II commodities.

b. Additionally, USDA provides support to BHA through a Participating Agency Service Agreement (PASA) with the US Forest Service which provides technical expertise and staff to develop, manage and improve BHA’s Response Management System (RMS) which includes the Disaster Assistance Response Team (DART), Response Management Team (RMT), Enhanced Bureau Response (EBR) and other BHA response management systems, structures, and procedures.

2 FAM 066.7  Other Federal Departments

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

USAID/BHA maintains pre-existing interagency agreements with other federal government entities.  These agreements allow USAID/BHA to request the use of these entities’ unique capabilities under USAID/BHA authority, direction, and funding.  In addition to the Executive Office of the President, and the departments listed above, other Federal departments which are sometimes involved in foreign humanitarian assistance include, but are not limited to, the Department of Homeland Security, Department of Commerce and Department of the Interior.  USAID is able to request the goods and services of these other Federal agencies on a reimbursable basis pursuant to section 632(b) of the FAA.  Written interagency agreements must be in place prior to the request for or provision of such goods and services (see ADS 306).

2 FAM 066.8  International Humanitarian Community

(CT:GEN-584;   10-31-2022)
(Uniform State/USAID)

a. The term "international humanitarian community" includes other donor countries, countries that host humanitarian populations of concern, international and regional organizations, such as the United Nations and its agencies, the International Committee of the Red Cross, and the International Federation of Red Cross and Red Crescent Societies, along with local and international NGOs that participate in humanitarian assistance activities.

b. The U.S. Government is a critical member and strong advocate of the international humanitarian community and existing international humanitarian architecture; the U.S. Government promotes a multilateral approach to disaster preparedness and humanitarian response.

c.  The U.S. Government may, at its discretion, make contributions to international organizations as well as award grants and cooperative agreements with NGOs that are capable and willing to undertake a humanitarian assistance program, if acceptable to the affected country.  U.S. humanitarian assistance may be in the form of relief commodities, food assistance, services, transportation, or cash and voucher assistance, the extent of which is based on actual requirements and the humanitarian assistance provided by other donor countries.

d. U.S. Government response efforts for the same crisis may also be provided on a bilateral basis, as long as such efforts are not duplicative and are coordinated through USAID/BHA and State/PRM.

2 FAM 067  THROUGH 069  UNASSIGNED

UNCLASSIFIED (U)